Information Circulars

2026-03-04

SEC Section 31 Fee Rate Advisory

2025-04-09

SEC Section 31 Fee Rate Advisory

2024-04-17

SEC Section 31 Fee Rate Advisory

2023-03-02

SEC Section 31 Fee Rate Advisory

2022-04-20

SEC Section 31 Fee Rate Advisory

2021-01-19

SEC Section 31 Fee Rate Advisory

2020-01-14

SEC Section 31 Fee Rate Advisory

2019-04-03

SEC Section 31 Fee Rate Advisory

2018-05-30

SEC Section 31 Fee Rate Advisory

2017-06-05

SEC Section 31 Fee Rate Advisory

2016-08-11

Collection of Exchange fees and other claims and billing policy

2016-08-02

Regulatory Transaction Fee Rate per Section 31 of the Securities Exchange Act of 1934 ("Exchange Act") Effective for Investors Exchange Launch

2016-07-13

Notice of Annual Meeting and Nominee for Member Representative Director Position of the Exchanges Board of Directors

2026-02-05

Amendments to IEX's Voluntary Termination and Retention of Jurisdiction Rules

2026-01-05

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2026-01-05

Notice Regarding Filing of Annual Reports

2025-11-07

Round Lot Definition Change and Market Makers’ Two-Sided Quote Obligations

2025-08-13

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2025-01-10

Notice Regarding Changes to FINRA Gateway and Regulatory Notification Forms

2025-01-08

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2025-01-08

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2025-01-02

Notice Regarding Filing of Annual Audited Reports

2024-07-01

Reminding SRO Members and Member Organizations of the CMRWG

2024-04-17

Enhancements to FINRA Firm Gateway and Regulatory Notifications

2024-01-03

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2024-01-03

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2024-01-03

Notice Regarding Filing of Annual Audited Reports

2023-01-04

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2023-01-04

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI for Certain Members

2023-01-04

Notice Regarding Filing of Annual Audited Reports

2022-09-15

Mandatory Participation in Market Wide Circuit Breaker (“MWCB”) Testing for Certain Members

2022-01-05

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2022-01-05

Notice Regarding Filing of Annual Audited Reports

2021-01-08

Mandatory Participation in Disaster Recovery Testing Pursuant to Regulation SCI

2021-01-05

Notice Regarding Filing of Annual Audited Reports

2020-07-30

Adoption of Changes to Minor Rule Violation Plan Adding CAT Reporting Compliance Rules

2020-07-17

Industry Presentation by CMRWG on CAT Compliance Rules

2020-07-07

Regulatory Coordination Concerning CAT Reporting Compliance

2016-08-31

Direxion Shares ETF Trust

2016-08-31

AB Svensk Exportkredit Elements

2016-08-31

AB Svensk Exportkredit Elements

2016-08-31

Elkhorn FTSE RAFI U.S. Equity Income ETF

2016-08-31

Elkhorn S&P Capital Expenditures Portfolio

2016-08-31

Etho Climate Leadership U.S. ETF

2016-08-31

ETRACS Alerian MLP ETNs

2016-08-31

ETRACS Alerian MLP Index ETN

2016-08-31

ETRACS Monthly Pay 2X Leveraged Closed-End Fund ETN

2016-08-31

UBS Ag

2016-08-31

ETRACS Monthly Pay 2xLeveraged MSCI US REIT Index ETN

2016-08-31

ETRACS Monthly Pay 2xLeveraged S&P Dividend ETN and ETRACS Monthly Pay 2xLeveraged Dow Jones Selected Dividend Index ETN Due May 22, 2042

2016-08-31

ETRACS Monthly Pay 2xLeveraged US High Dividend Low Volatility ETN

2016-08-31

ETRACS Monthly Pay 2xLeveraged US Small Cap High Dividend ETN

2016-08-31

UBS AG

2016-08-31

ETRACS Monthly Reset 2xLeveraged S&P 500 Total Return ETN

2016-08-31

ETRACS S&P GSCI Crude Oil Total Return Index ETN due February 22, 2046

2016-08-31

ETRACS Wells Fargo Business Development Company Index ETNs

2016-08-31

Fidelity Bond Exchange Traded Funds

2016-08-31

First Trust Funds

2016-08-31

First Trust CBOE S&P 500 VIX Tail Hedge Fund

2016-08-31

First Trust Emerging Markets Local Currency Bond ETF

2016-08-31

First Trust ETF

2016-08-31

First Trust Exchange-Traded AlphaDEX Fund

2016-08-31

First Trust Exchange-Traded Fund II